| Notice of Intent to Deny Registration:
On October 22, 2008, NFA issued a Notice of Intent to deny Delgado's floor broker registration, charging that his nolo contendere plea to a felony offense disqualifies him from registration under Section 8a(3)(H) of the Commodity Exchange Act.
To view the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Response to Notice of Intent:
On February 3, 2009, Delgado filed a Response stating that he would submit evidence to show that his registration should be conditioned.
Final Order Granting Conditional Registration:
On May 4, 2008, NFA's Subcommittee issued a Final Order to condition Delgado's registration, finding that he had presented sufficient evidence to show that his conditioned registration would pose no substantial risk to the public.
To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center. |